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Articles tagged "Zachary Gronich"


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Zachary Gronich: "For the state registered people, I’m not really seeing any outrageous new costs beyond that new ADV 2a/2b.”

New Fidelity survey shows advisors are running scared about compliance costs

RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable

March 7, 2011 at 1:28 PM

Brian Hamburger: The SEC is lining up the facts so that later the conclusion becomes obvious (it can’t regulate advisors with current resources). ... It’s genius, what they’re looking to do, but it’s incredibly transparent.

The RIABiz list of winners and losers in the wake of the SEC's fiduciary study

The race is on as laggards adapt to new vision of the future

January 28, 2011 at 1:17 PM

Andrew Fotopulos: Advisers seem a lot more anxious to obtain coverage at this time.

Why RIA demand for E&O insurance is booming and premium prices are [thankfully] plummeting

A plethora of new carriers is a big boon at a time when regulators 'circle like sharks'

November 17, 2010 at 5:40 AM

Denise Voigt Crawford: Advisors who haven't had an SEC audit recently -- or ever -- should expect an examiner's knock on the door soon after they switch to state oversight.
August 25, 2010 at 12:56 PM

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